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GRAHAM CORP — Director's Dealing 2011
May 27, 2011
32710_dirs_2011-05-27_10db8156-9260-4851-accd-9f0a52e02238.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GRAHAM CORP (GHM)
CIK: 0000716314
Period of Report: 2011-05-26
Reporting Person: LINES JAMES R (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-05-26 | Common Stock | A | 2612 | — | Acquired | 28800 | Direct |
| 2011-05-26 | Common Stock | A | 2612 | — | Acquired | 31412 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5570 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $7.976 | 2016-06-01 | Common Stock (7500) | 7500 | Direct |
| Stock Option (Right to Buy) | $6.84 | 2016-07-27 | Common Stock (3750) | 3750 | Direct |
| Stock Option (Right to Buy) | $6.90 | 2017-05-31 | Common Stock (9894) | 9894 | Direct |
| Stock Option (Right to Buy) | $30.875 | 2018-05-29 | Common Stock (2532) | 2532 | Direct |
| Stock Option (Right to Buy) | $15.22 | 2019-05-28 | Common Stock (5922) | 5922 | Direct |
| Stock Option (Right to Buy) | $15.25 | 2020-05-20 | Common Stock (4638) | 4638 | Direct |
Footnotes
F1: This time-vested restricted stock award was granted under the Amended and Restated 2000 Graham Corporation Incentive Plan to Increase Shareholder Value in a transaction exempt under Rule 16b-3.
F2: This performance-vested restricted stock award was granted under the Amended and Restated 2000 Graham Corporation Incentive Plan to Increase Shareholder Value in a transaction exempt under Rule 16b-3 and is subject to forfeiture if certain vesting conditions are not met. The number of shares reported assumes target achievement of the performance criteria. If maximum achievement is realized, the number of shares reported would double.
F3: Includes 1,730 shares acquired under the Graham Corporation Employee Stock Purchase Plan.
F4: Shares held by the trustee of the Graham Corporation Employee Stock Ownership Plan and allocated to Mr. Lines's account, as to which Mr. Lines has sole voting power but no dispositive power, except in limited circumstances.
F5: This option was previously reported by Mr. Lines.
F6: This option was previously reported by Mr. Lines and is exercisable pro rata on the first, second, third and fourth anniversaries of the 5/31/07 grant date.
F7: This option was previously reported by Mr. Lines and is exercisable pro rata on the first, second, third and fourth anniversaries of the 5/29/08 grant date.
F8: This option was previously reported by Mr. Lines and is exercisable 33 1/3% per year over three years beginning on the first anniversary of the 5/28/09 grant date.
F9: This option was previously reported by Mr. Lines and is exercisable 33 1/3% per year over three years beginning on the first anniversary of the 5/20/10 grant date.